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Brokerage Firm Misconduct

Our law firm represents institutional and individual investors nationwide in claims against financial and securities brokerage firms.

Experienced Counsel in FINRA and SEC Matters Involving Brokerage Firm Misconduct

Since 1990, Shepherd Smith Edwards & Kantas LTD LLP has represented thousands of institutional and individual investors nationwide in claims against hundreds of financial firms. Our attorneys, staff and consultants have over 100 years of combined legal experience and, collectively, also worked more than 100 years in the securities industry. We are therefore able to represent clients in all localities in claims against financial firms.

When it comes to brokerage firms you want to be able to trust that they’ll guide you and give you the correct advice for your investments. Since they’re the middle man between you and the company you want to buy stock from, by giving them your money you’re giving them your trust. However, broker fraud and misconduct happen all too often. If you’re afraid you’re at risk or have been a victim of broker fraud then contact our team today for help getting back what’s rightfully yours.

We Have Filed FINRA Claims Against Most Brokerage Firms

On behalf of our clients, our broker fraud lawyers have filed claims against financial firms for fraud, negligence and a variety of other wrongful actions. After an attorney has assessed a client’s experiences at a financial firm and decided that action is warranted, a claim is then filed in arbitration or in court. Each lawyer has a team to work closely with our clients and guide them through the process when dealing with broker fraud misconduct.

Listed below are some of the hundreds of investment firms we have filed claims against on behalf of our clients. Through each of these is provided a firm profile and additional information about that firm. Also available is access to an alphabetical listing of every firm licensed to sell securities in the U.S.

Client Reviews
★★★★★
"I am going to miss conversations with you, Sam Edwards. You’ve been a wonderful lawyer and a friend. I loved learning legal jargon from you. But, even more, it is your self respect and commitment to your position that I admire and your persistent patience-your equanimity. With great appreciation, thank you!" M.B.
★★★★★
"My experience with Ryan Cook has been very positive. Through every step of the litigation he explained what to expect to happen. When I spoke with him later he reviewed the process. He was very patient and I never felt rushed. I have already told friends how wonderful he is." L.R.
Contact Us
  1. 1 Free Consultation
  2. 2 No Recovery, No Fee
  3. 3 Over 100 Years Experience

Fill out the contact form or call us at (800) 259-9010 to schedule your free consultation.